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Michael J. Clarke

Some features on this profile are disabled
CRD#: 1078211
MC

Professional summary

Michael Joseph Clarke was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Michael had worked at 13 firms, which includes AVATAR CAPITAL GROUP LLC, MARV CAPITAL INC., TRADITION SECURITIES AND DERIVATIVES LLC, WHITAKER SECURITIES LLC, SEABOARD SECURITIES INC., PECONIC SECURITIES LLC, SENTINEL BROKERS COMPANY INC., W.A. CAPITAL MARKETS, CHAPDELAINE TULLETT PREBON LLC, TULLETT & TOKYO SECURITIES INC., MINT BROKERS, CANTOR FITZGERALD MUNICIPAL BROKERS INC., R. W. ELLWOOD & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 19, 2019 - September 17, 2020

AVATAR CAPITAL GROUP LLC

BD
CRD#: 150136
JERSEY CITY, NJ
Past

July 19, 2016 - May 15, 2019

AVATAR CAPITAL GROUP LLC

BD
CRD#: 150136
Jersey City, NJ
Past

October 6, 2015 - August 9, 2016

MARV CAPITAL INC.

BD
CRD#: 104390
NEW YORK, NY
Past

November 15, 2010 - September 4, 2015

TRADITION SECURITIES AND DERIVATIVES LLC

BD
CRD#: 28269
NEW YORK, NY
Past

March 3, 2008 - February 2, 2010

WHITAKER SECURITIES LLC

BD
CRD#: 121465
NEW YORK, NY
Past

December 10, 2004 - February 29, 2008

SEABOARD SECURITIES, INC.

BD
CRD#: 755
NEW YORK, NY
Past

October 30, 2003 - November 2, 2004

PECONIC SECURITIES LLC

BD
CRD#: 46781
NEW YORK, NY
Past

January 3, 2003 - July 9, 2003

SENTINEL BROKERS COMPANY, INC.

BD
CRD#: 40305
JUPITER, FL
Past

January 31, 2002 - April 22, 2002

W.A. CAPITAL MARKETS

BD
CRD#: 6292
NEW YORK, NY
Past

February 26, 1997 - November 16, 2001

CHAPDELAINE TULLETT PREBON, LLC

BD
CRD#: 7017
NEW YORK, NY
Past

January 19, 1993 - December 18, 1996

TULLETT & TOKYO SECURITIES, INC.

BD
CRD#: 19595
NEW YORK, NY
Past

January 25, 1991 - January 18, 1993

MINT BROKERS

BD
CRD#: 13681
NEW YORK, NY
Past

May 24, 1989 - January 25, 1991

CANTOR, FITZGERALD MUNICIPAL BROKERS, INC.

BD
CRD#: 10780
Past

March 26, 1986 - June 5, 1989

R. W. ELLWOOD & CO., INC.

BD
CRD#: 7021
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 52
Date: 3/25/1986
Municipal Securities Representative Examination

Current Firm

AC
AVATAR CAPITAL GROUP LLC
AVATAR CAPITAL GROUP LLC

CRD#: 150136 / SEC#: , 8-68218

BD
Terminated by SEC on 08/29/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/16/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FX DIRECT DEALER LLC ("FXDD")OWNER
ASSENTATO, EMILCHIEF COMPLIANCE OFFICER1952191
ASSENTATO, EMILMEMBER, CHIEF EXECUTIVE OFFICER1952191
GARLAND, JOSEPH TIMOTHYCHIEF FINANCIAL OFFICER AND FINOP1043919

Red Flags

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Company Information

AVATAR CAPITAL GROUP LLC

CRD#: 150136

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